DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Rockdale Financial Services, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mitchell Nelson | Rockdale Financial Services, Inc. state registered | Cetera Investment Advisers LLC BD affiliated | Other | Jan 5, 2026 | Feb 1, 2024 |
| Daniel Romero Chen | Rockdale Financial Services, Inc. state registered | Cetera Investment Advisers LLC BD affiliated | Other | Mar 25, 2009 | Mar 21, 2024 (5475 d) |
| Neil Kenneth Piper | Rockdale Financial Services, Inc. state registered | Fortis Group Advisors LLC no RAUM | Other | Dec 20, 2003 | Feb 21, 2018 (5177 d) |
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3 moves match.